Sorbus Partners LLP

• Principal Place of Business

  41 Eastgate Street

  Stafford

  ST16 2LZ

  UNITED KINGDOM

  Phone

  +441785503010

  Web

  https://www.sorbus.com

• Complaints Contact

  41 Eastgate Street

  Stafford

  ST16 2LZ

  UNITED KINGDOM

  Phone

  +441785503010

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Richard Winston Farmiloe

  IRN RWF01023

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 May 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2024)
  • SMF27 Partner (9 Dec 2019 to 22 May 2024)
  • CF30 Customer (7 May 2014 to 8 Dec 2019)
  • CF4 Partner (7 May 2014 to 8 Dec 2019)
• Scott Carl Garratley

  IRN SCG01087

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 3. Giving personal recommendations on derivatives
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Functions requiring qualifications (since 9 Apr 2025)
  • [FCA CF] Client dealing (since 17 Dec 2024)
  • CF30 Customer (24 Feb 2015 to 8 Dec 2019)
• Steven Peter Hollis

  IRN SXH25468

  • SMF27 Partner (9 Dec 2019 to 22 May 2024)
• Susannah Margaret Moseley-Gray

  IRN SMG01086

  • SMF16 Compliance Oversight (9 Dec 2019 to 26 Sep 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Sep 2022)
  • SMF27 Partner (9 Dec 2019 to 4 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 May 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 May 2024)
  • CF11 Money Laundering Reporting (28 Sep 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 Sep 2017 to 8 Dec 2019)
  • CF30 Customer (18 Feb 2015 to 8 Dec 2019)
  • CF4 Partner (18 Feb 2015 to 8 Dec 2019)
• Tom Aylwin John Hall

  IRN TXH01255

  • SMF27 Partner (4 Feb 2022 to 18 Feb 2026)
  • CF4 Partner (29 Nov 2012 to 16 Jul 2014)
  • CF30 Customer (29 Nov 2012 to 31 Aug 2017)

• Blackwood Asset Management Ltd (no longer appointed)

  FRN 811667 · Appointed 14 Jun 2018 · Until 25 Nov 2019

No changes recorded yet.